Corporate Governance & Securities Regulation

We provide day-to-day support, transactional support, and crisis management service to a wide variety of financial services enterprises on corporate governance, enterprise risk management and related securities and financial regulatory compliance. For example, we routinely advise clients with respect to the satisfaction of fiduciary duties, periodic and event reporting, and stock exchange listing requirements. Also, we assist financial services enterprises and their boards with director training, internal and regulatory investigations and enforcement actions as well as independent committee representations.

Our regulatory enforcement and white collar team is fully integrated with our securities and financial regulatory compliance team to ensure that we are prepared to provide the highest quality assistance in challenging as well as mundane circumstances.

Examples of the corporate governance and securities regulation services we regularly provide financial services enterprises include:

  • Periodic and event reporting with securities and financial regulators and stock exchange listing requirements
  • Proxy solicitation and executive compensation advice
  • Board and committee structure and committee charter drafting
  • Activist shareholders and shareholder engagement
  • Section 16 compliance and related-party transactions
  • Board training on corporate governance and enterprise risk management
  • Internal and regulatory investigations and enforcement actions
  • Market abuse and other ongoing obligations for listed issuers

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